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Content tagged "Ken Kaltman"



Tracy Calder spent 18 years at UBS before leading efforts at JP Morgan Securities.

LPL keeps on stockpiling tip-top compliance execs, with JP Morgan's ex-CCO the latest
Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines

Tuesday 1.26.16
Ken Kaltman: Big is better for the client

As RIA compliance complexity explodes, two big outsourcers merge to keep pace
National Compliance Services Inc. is a biggie with smaller RIAs and Regulatory Compliance LLC already provides ultra-handholding that firms increasingly demand

Tuesday 11.3.15
The VEO Village was moved to the fourth floor for greater space but lost some flow in the process.

What marketing truths emerged from the exhibit booths at TD Ameritrade's LINC event in San Diego
Flow, buzz and frenzy were constrained by the multi-floor set-up but new players in the RIA space celebrated the event and its value proposition

Wednesday 2.4.15
What looks disorderly at TD has the dead reckoning of dollars following ROI opportunity.

An advertiser's-eye view of TD Ameritrade's national conference
Firms that rarely advertise had booths, including mega-RIAs, competing custodians and Marty Bicknell

Monday 2.3.14
Glenn Neasham: I didn't do anything wrong.

How Glenn Neasham lost his house, was forced to go on food stamps and faces jail time after selling a senior an indexed annuity
The case of this Lake County, Calif. insurance agent gives pause to advisors and agents dealing with seniors -- and indexed annuities

Wednesday 4.4.12
Brian Hamburger: If anything it's sending the message that the SEC is not putting a high price tag on the cost of maintaining an ongoing compliance program.

How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?
Did the embattled agency go too far -- or not far enough?

Wednesday 11.30.11
Ryan Alfred: If you do something disruptive (in the marketplace), it’s going to be polarizing.

BrightScope sticks to its guns as it responds to outspoken critics of its Advisor Pages
The San Diego-based data tracker opens a window on the practices of 450,000 advisors; skeptics say it crosses a line

Monday 5.2.11
Colin Powell mentioned RIAs by name in his speech, showing a familiarity with the business that's has been uncommon among outsiders.

TD Ameritrade's conference gives rise to 9 reasons for optimism about the RIA business
The industry is advancing across a wide swath; one sign is TD's self-assessment

Monday 2.7.11
Kenneth Kaltman bags the Clinton, Bush chairs in lunchtime auction

Distant snows and lunchtime auction keep TD Ameritrade conference buzzing today
Some East Coast attendees rearrange schedules to avoid spending unplanned weekend in Orlando

Friday 2.5.10

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